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RIA Intelligence
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Registered advisor
D•••• E••••• C•••••
Feed of 09/14/2026
At current firm
10 y
since Oct 13, 2015
In the industry
33 y
since Mar 25, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Oct 13, 2015 · Mantoloking, Nj
- C••••• S••••• S••••••••• •••• L•• formerDec 11, 2007 to Nov 5, 2015 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerNov 13, 2007 to Jan 4, 2008 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerAug 7, 2003 to Dec 31, 2005 · New York, Ny
- R•••••••• S•••••••• I••• unclassifiedJun 23, 2000 to Jul 26, 2002 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Nov 5, 2015, registered Oct 13, 2015 (-23 days) · Other · moved with a team
- L••••••• A•••• M••••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 4, 2008, registered Dec 11, 2007 (-24 days) · Other
- R•••••••• S•••••••• I••• to L••••••• A•••• M••••••••• L••left Jul 26, 2002, registered Aug 7, 2003 (377 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address